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CIVIL AIR PATROL INSPECTOR GENERAL
IG AUDIENCE Volume 7 Issue 3 July 2016
FORWARD THIS NEWSLETTER TO ALL UNITS IN YOUR WING!
A note from Col Tom Kettell, CAP/IG: The IG Audience has evolved
from a newsletter to being the Education Journal for the IG Program.
Each quarterly issue has introduced a quality tool (or two) that will be
implemented into program operations. The use of these tools by Wing
IGs (first) and then Wing/Unit Commanders (with mentorship and
assistance from IG) will be a contributing element towards moving
CAP in the direction of continuous improvement and the establishment
of a quality culture.
ECIM Case Notes
by Col Tim Hahn, CAP/IGQ, [email protected]
In ECIM cases there is a section for case notes. It’s located in the left-hand
side bar in the box labeled SECTIONS and is third from the bottom. What I
routinely see in there is one or two notes like “opened case” and “closed
case”. That really doesn’t describe much! What should go in there is a note
describing everything you have done in the case and it should happen every
time you enter the case log to do something. The case notes should be a log
of everything you have done.
The case notes should be chronological, so when you first receive the case, a note saying so should be
entered. After that, everything you do should be documented. Anyone needing to see what’s going on
should be able to go to case notes and it should be the reader’s digest version of activity in the case.
Since it takes care of the date, time, and who is making the note, you need only worry about the note
itself! From the example below you can see a case that came in, an acknowledgement letter was
properly sent and that there is proof that it went to the complainant, that a phone call was made for basic
information, that the Complaint Analysis was completed and approved, and a closure letter sent to the
complainant.
Case opened regarding Wing Commander moved van from Sqdn 501 to Sqdn 286 allegedly due
to his third cousin’s fifth wife’s daughter-in-law’s ninth husband twice removed might join that
unit.
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Acknowledgement Letter sent to complainant. See Attachments for letter and email dated this
date.
Contacted Wing CC about van transfer. He advised it was moved “because it hadn’t moved in 6
months.” See Memorandum of Record of phone conversation dated this date.
See completed Complaint Analysis in attachments dated this date.
See Case closure letter sent to complainant and email sending it dated this date.
While this was rather simplistic, it demonstrates the concept. Without this, in order to find out what
happened, you would have to go in to all the attachments and read them. This tells you in short order
what it was about and that it’s over and done with. There is a second example below of a practical
exercise being worked up that gives you a better idea of a more in depth case. The case notes should be
read from the bottom up.
6/16/2016 8:12 AM - Timothy F Hahn
Contacted:
Maj Paul Mylegg, USAF
999th F65 Squadron Commander
Iwannaflyaplane AFB
Darling, TN
123-555-0001
He advised he would write up a witness statement and contact me to meet to go over. He has no problem with Q&A during the
interview and stated he appreciates that fact that we are taking this seriously. He was a CAP cadet and knows how valuable an
asset we are and will cooperate in any way he can.
6/16/2016 8:09 AM - Timothy F Hahn
Approval from CAP-USAF to obtain witness statement from USAF member received.
6/16/2016 5:54 AM - Timothy F Hahn
Email received from CAP USAF IG requesting permission from CAP USAF CV on 6-15-16. Awaiting final permission prior to set up interview and obtain witness statement from USAF member.
6/15/2016 8:26 AM - Timothy F Hahn
Letter of Appointment signed by Wing CC
6/15/2016 8:17 AM - Timothy F Hahn
CA completed and approved by Wing CC
6/15/2016 8:03 AM - Timothy F Hahn
Letter sent to CAP-USAF IG requesting permission to get witness statement.
6/15/2016 7:38 AM - Timothy F Hahn
Wing CC called to advise he received a call from Maj Paul Mylegg, USAF. He was having dinner with his wife at Armageddon,
a Chile restaurant on March 33, 2016. His call was delayed while he researched how to contact us. He advised that he witnessed a
male in a CAP uniform eating chili and drinking heavily. He knows it was beer but he was not sure what beer. He is certain he
saw the subject drink at least 5 of the "Heavy Hammer" glass of beer which hold 26 ounces each.
He stated that the subject left about 1915 and got into a CAP marked van with vehicle ID 76103 and drove out of the parking lot.
His contact information is
Maj Paul Mylegg, USAF
999th F65 Squadron Commander
Iwannaflyaplane AFB
Darling, TN
123-555-0001 He advised the Wing CC I could contact him at any time.
Page 3
6/15/2016 7:25 AM - Timothy F Hahn
Received Form 2 copies from Complainant on all three grade reductions. NOTE Cadet grade reduction is on a Form 2?
6/15/2016 6:38 AM - Timothy F Hahn
An earlier call to the complainant was returned. He will forward copies of the CAPF 2's with the reduction in grade for all three named members.
6/15/2016 6:37 AM - Timothy F Hahn
Form 30 received from complainant. Wing CC notified due to possible drunk driving issue and nature of complaint. Wing CC
requested expedited Complaint Analysis.
As you can see, everything that happened is recorded in chronological order, and anyone can see the
case status at a glance. It makes it very easy for YOU to tell where you are as well. IGs are volunteers
with busy lives; it’s easy to forget something. A glance at your own notes will remind you that there is
something that needs to be done. Oh, by the way, today I got an email reminding me to call the USAF
member about setting up the meeting to go over his statement. Under TOOLS there is a handy little
device called REMINDERS. If you set that when something is due, like case updates or an interview or
whatever you need to be reminded about, it will send you an automated email to remind you.
There are lots of tools for you to use in ECIM; it’s up to you to use them properly. Using them can
make your job a lot easier. “NOTES” is probably the single most important one there is. I’d like to see
far more than one or two as a case progresses from intake to closure.
Most Common SUI Discrepancies and the Fix
by Lt Col Craig Gallagher, CAP/IGT
How difficult is compliance? In most cases, not very! The secret is to know
ahead of time what your duty position requires. Sure, the details are in the
CAP regulations and we should all be familiar with what they say, but the
volume is daunting (anyone else remember the 4-inch binder for CAP
regulations printed on 8.5 X 11 sheets of paper?) – it’s just too much to read!
Fortunately, we have a shortcut to get you past the initial hurdles! The
Inspector General Knowledgebase provide a condensed guide of what critical
compliance items will be inspected and it makes an excellent primer for
anyone starting a new duty position.
REMEMBER – If it’s
not documented, it
doesn’t exist!!
Page 4
Example 1: Command Tab E-1, Question 10
Detailed Question: Are all members assigned to an authorized duty position enrolled in the appropriate specialty
track? (164 Discrepancies)
How to verify compliance:
Run the eServices Member Reports for Duty Assignment and Professional Development Report
(where you will find the Member Specialty Tracks) for the unit and verify that each staff member
assigned to a duty position is enrolled in the appropriate specialty track.
Discrepancy Write Up:
(A-Discrepancy): [xx] (Question 10) Member holding authorized duty position of
XXXXXXXXXXXXXXX is not enrolled in the appropriate specialty track IAW CAPR 35-1
para 1-2b.
How to Clear:
Enroll staff in the appropriate specialty tracks. Upload copies of the Duty Assignment and
Member Specialty Track reports with highlighted specialty tracks for the staff in the DTS.
This discrepancy is the most common problem in SUIs and it is easily avoided. CAPR 35-1 para 1-2b
specifies: “When assigned to an authorized duty position, the member will also be enrolled in the
appropriate specialty track of the CAP Professional Development Program unless he/she has already
earned the master's rating in that specialty. When a member is assigned to more than one duty position,
he/she will enroll in the specialty track for the primary duty. Training in remaining specialties is
encouraged.”
I highlighted “primary” because there is an ongoing discussion about what primary means.
Option 1: The most significant duty assignment to the member
Option 2: The most significant duty assignment of the member for the unit
Option 3: Every duty assignment in eServices in which the member is listed as “Primary”
Option 4: Every duty assignment in eServices in which the member is listed as “Primary” or “Assistant”
Option 4 will never have you out of compliance and being enrolled in a specialty track is pretty painless
for the member. Option 3 seems to be the absolute minimum to remain compliant. Options 1 and 2 are
too subjective to assure compliance.
From a practical standpoint, reading and understanding E-1 Question 10 is much simpler and more
straightforward than delving into the regulation. The IG Knowledgebase tells you how the inspector
will verify compliance, the CAP regulation, and how to fix non-compliance.
Anyone new to a duty position should be given the IG Knowledgebase tab for their position by their
assigned mentor at the very beginning and every person should review their tab on an annual basis,
ideally a year after your most recent inspection.
Page 5
CI/SAV/SUI Worksheet Completion
by Lt Col Les Manser, CAP/IGTA
A reader was curious regarding which CI/SUI worksheet(s) gave units the most
trouble to complete. The answer is – due to standardized design – there is no
one particular worksheet that is easier or harder for any unit staff officer to
complete. The main issue/trend that exists across most worksheets is their lack
of “completeness”.
A simple definition of completeness is “having all the necessary parts, components or steps; to have
nothing missing”. What defines “completeness” for worksheets? Is that something that is just left up to
any staff officer to interpret differently and create wide variation in the results? The answer is NO. To
start, there are two NHQ/IG pages – CI & SAV Information and SUI Information – that contain videos
and/or presentations for completing the worksheets – so there is help available in the form of “checklist
instructions”. Additionally, the 3rd column in every checklist – “How to verify compliance” – clearly
specifies for each question what required documents by name/title to provide (report, plan, etc. – aka
“records” – the proof of compliance) and then referenced in the Notes column. Finally, every staff
officer attempting to fill out a worksheet for the first time deserves to have direction/guidance provided
to them from a Mentor/Subject Matter Expert (SME) – preferably through wing-wide IG-related
education and training.
The following sections/columns should be completed, as a minimum:
Staffing – enter (accurate) numbers; select an entry from a dropdown list.
Mission and Staffing Notes – enter additional/background information or other assigned
personnel as necessary to give the Inspector a “big picture” of this function. This is the place to
start showcasing your program!
Y/N/NA for each Topic/Question – select one.
Notes for each Topic/Question – information that supports a Y (Yes), N (N) or NA (Not
Applicable).
o If Yes, provide information on the process(es) used to meet or exceed the requirement
and then reference the record(s) uploaded that support proof of compliance.
o If No, provide information on WHY non-compliance exists and (preferably) WHAT has
already been done/implemented to bring this item into compliance. Reference any
documentation uploaded that support efforts to clear up the non-compliance. NOTE: No
“gunnadoos”!!
o If NA, provide the reason(s) WHY this item is not applicable. Example: “XXWG does
not have a need to supplement CAPR 60-3.” The Inspector cannot rely on an assumption
when there is no entry – so save some follow-up time by making it clear with a positive
statement.
A principle to apply for worksheet completeness is “document to the detail necessary to ensure quality”.
The more information entered in the worksheet along with supporting documentation/records
referenced, the better understanding the Inspector will have on program performance and mission-
critical compliance. Ideally, the unit’s worksheet for that function (“tab”) can then be downloaded and
saved by the Inspector as a starting point for his/her inspection. If the worksheet information is non-
Page 6
existent or sparse, then the Inspector is forced to take additional time to search/find the objective
evidence/records that should have been provided by the unit in the first place.
So – let’s exercise PLAN-DO-CHECK-ACT for worksheets, shall we?
PLAN: Unit management will provide all applicable “deliverables” - which includes worksheets
(referenced as a “checklist” in the current CAPR 123-3) – using eServices/IG/Documentation
(read “upload to the referenced storage location”) NLT 45 days prior to a CI or NLT 10 days
prior to a SUI.
DO: This action is the responsibility of unit management; either all of the applicable worksheets
(and all other deliverables) have been uploaded to eServices/IG/Documentation NLT the
“Delivery Due Date” or they haven’t. If they have – good start; if they haven’t, the unit just
received a discrepancy under Tab E-1 (CI - Question 12b, SUI Question 7). Remember that the
CI/SUI begins NLT the Delivery Due Date.
CHECK: The IG, IGA or Team Chief (as applicable/designated) reviews and verifies uploaded
documentation by the unit regarding content and quality. Regarding worksheets, they might
discover these “Top Three” issues:
o No worksheets uploaded, blank worksheets uploaded and/or only some applicable
worksheets uploaded. This condition was almost exclusively observed for SUIs.
o The only worksheet entries were in the 1st Column – Y, N or NA. This entry by itself is
not sufficient. Most of the time, “Y” is entered for all questions without reference to any
supporting documentation/records to support the response. This is a typical indication of
the “fill the square” mentality.
o No information in the Notes column. Many times, separate word/text files were created
and uploaded for each response vs. putting the text in the Notes field. This resulted in
more work and time expended by both the unit and Inspectors. The worksheet is the key
document used before, during and after the inspection. There is practically no limit to the
text content that can be put in this field or the Mission and Staffing Notes field. This
entire article was placed in various worksheet fields – no problem! The field will keep
expanding and a Scroll Bar will be created on the right side of the field to read all of the
content.
ACT: Analyze worksheet issues and:
Ensure that IG-related education and training is provided wing-wide – Commanders as a
minimum – that includes/addresses worksheet completion and document uploading.
Hold all units accountable for uploading their own documents by the Delivery Due Date as
required by CAPR 123-3; provide the training and/or coordinate IG Module access if
necessary.
Address the “fill the square mentality” in units that exhibit this condition/culture.
Completing the worksheet for a unit function prior to a CI/SAV/SUI should not be a “last-minute”
action. The worksheet and its corresponding Inspection Knowledge Base information is one (but not the
only) tool that can be used by a staff officer to understand/maintain mission-critical requirements
whether newly-assigned or in the position for years. If accomplished periodically by all of the staff
(preferably annually as a minimum or any time there is a staff officer change), it will help the unit move
towards continuous compliance.
Page 7
SUI Anniversary Dates
by Lt Col Vincent Murray, CAP SER/IGA
Ahhhh…the SUI Anniversary Date! A barely mentioned item in CAPR 123-3, yet it demands so much
attention and discussion. In fact, “anniversary date” is only mentioned once in this regulation.
Paragraph 12b states:
“The 24 month interval is based on the SUI anniversary date listed in eServices. Once
established, changes to this date require CAP/IG and CAP-USAF IG approval.”
You see, the SUI Anniversary Date in eServices was created simply to provide a visual crosscheck of a
pending or overdue inspection. Its only function is to start the clock for the next inspection, then change
the color on the Commanders Dashboard as the 24-month requirement approaches (from green to yellow
to orange). If you pass the end of the 27th month, it then changes to red signifying to the world that the
unit should be suspended pending completion of an SUI. In order for the dashboard warnings to
function correctly, the anniversary date must be set correctly.
Although CAPR 123-3, para 12b says “…changes to this date require CAP/IG and CAP-USAF IG
approval”, that’s not entirely correct. You see, every time you complete an SUI you change the date.
This is necessary to make the Dashboard show green again until the next SUI. So how do you do this?
You click the Reset Anniversary Date button in eServices, which will advance the anniversary date 24
months forward. That’s exactly what you want to do if you completed the SUI in months 24 through 27
and ensures the dashboard will work correctly the next time the SUI comes due.
Here’s the gotcha…a second click of the button will push the anniversary date into the future. You
NEVER want the anniversary date to be in the future. If it is, you’re likely to be overdue on an
inspection and never know it just by looking at the dashboard colors!!! You run into a similar gotcha if
you do your SUI early (even by a month or two) because now the dashboard will begin showing
warnings a month or two late…also creating an “accident waiting to happen”.
So here’s what you need to do:
1. For every unit, ensure the current SUI Anniversary Date is the same month/year as the last SUI
completion date.
2. If the SUI Anniversary Date does not match the last SUI completion date, immediately put in a
request through your Region/IGs to CAP/IGI and/or CAP/IGT to have them corrected.
3. Always plan on completing the next SUI in the same month (exactly 24 months later) as the
previous SUI. If you complete the SUI in months 25-27, a single click of the Reset Anniversary
Date button will ensure the anniversary date is set to 24 months after it should’ve been
completed and ensure the regulatory requirement is met that states:
“Any excess interval between SUIs beyond 24 months will be subtracted in computing
the next SUI due date.”
4. If you complete an SUI early, you must coordinate with CAP/IGI or CAP/IGT to reset the SUI
Anniversary Date in eServices. This should be the exception and not the rule.
NOTE: There is a request into the IT department to modify the SUI Anniversary Date processing to
something along the lines of a “Next Inspection Date”. The IG uploading the SUI Report will be given a
suggested Next Inspection Date that can be changed by the IG as long as it is not more than 24 months
after the most recent inspection. At this writing, the request is number 17 in the list of things for IT to
do. You’ll hear more from CAP/IG if and when this is acted upon
Page 8
2016 Inspector General College
General Larry Myrick-Presenter and Student Col Kettell presents the Commander and the IG
Kettell and Gallagher review SUI Process CAP-USAF/IG presents DTS Data Analysis
Lt Col Barbalace teaches Writing CAP/IGI, Col Steve Miller explains the CI-Process
Skills for the SUI Report
Page 9
The Plan of Action has 3 W’s:
WHAT is the corrective action
WHO is responsible to accomplish the action
WHEN is the action to be completed
Lt Col Les Manser teaches about Root Cause
Analysis and a good Plan of Action
2016 Graduating Class
Inspector General College
Page 10
Start making plans to attend the 2018 NIGC:
1. Required for Wing and Region IGs
2. Very illuminating for Wing/Region Commanders and Vice Commanders
3. Excellent training for all IG Assistants
4. Basic and Senior IG course completion required to attend
Upcoming Training
August 2016
NHQ IG Senior Course at the CAP National Conference, Nashville, TN 11-12 August 2016 - contact
Larry Julian at [email protected]
September 2016
NCR IG Senior Course at Landmark Aviation, Sioux Falls Airport, Sioux Falls, SD 17-18 September
2016 - contact Lt Col Shelly Metzger at [email protected]
PRC IG Senior Course at Best Western – Boulder Falls Inn, Lebanon, OR 9-10 September 2016 -
contact Lt Col John Barringer at [email protected]
What to do if you want to host an IGSC:
1. Measure Interest: 12-20 students
2. Plan When: Adjacent to, but not during Wing/Region Conference
3. Plan Where: Wi-Fi, Power for Computers, Projector, Desks or Tables
4. Contact the CAP/IGT ([email protected]) to get an instructor and schedule the class
5. Write a “Promotion Piece” for the class
6. Recruit students (20 max)
Page 11
Upcoming Compliance Inspections
WING CI DATES CYCLE/INSP#
MI 16-17 Jul 16 4-45
NY 6-7 Aug 16 4-46
PA 27-28 Aug 16 4-47
ID 17-18 Sep 16 4-48
IG Audience/LMS-IG Points of Contact
SEND ARTICLE SUBMISSIONS FOR THE IG AUDIENCE DIRECTLY
TO LT COL LES MANSER at [email protected].
With your article, please submit 3-5 good, multiple-choice questions and a
wrong-answer feedback explanation for each question.
FINAL EDITOR FOR THE IG AUDIENCE IS LT COL DON BARBALACE at [email protected] (do not send articles to him)
LEARNING MANAGEMENT SYSTEMS DIRECTOR FOR IG COURSES IS LT COL DON
BARBALACE at [email protected]
